UNITED STATES of America, Plaintiff-Appellee, v. Samuel OROZCO-ACOSTA, aka Benito Contreras-Mesa, Defendant-Appellant.
No. 09-50192
United States Court of Appeals, Ninth Circuit
May 26, 2010
Amended June 9, 2010
607 F.3d 1156
Before WILLIAM C. CANBY, JR., RONALD M. GOULD and SANDRA S. IKUTA, Circuit Judges.
Argued and Submitted March 2, 2010.
III. CONCLUSION
For the foregoing reasons, we deny the Cruz family‘s petitions for review of their claims for asylum, withholding of removal, and relief under the Convention Against Torture.
James Fife, Assistant Federal Public Defender, San Diego, CA, for the defendant-appellant.
ORDER
The opinion in this case filed by this court on May 26, 2010, slip op. 7534, is amended as follows:
At slip op. at 7538, first sentence of the second full paragraph, indicate a footnote following “Because the government concedes that the introduction of the CNR violated Orozco-Acosta‘s confrontation right,“. The indicated footnote is to be numbered 3, with following footnotes renumbered accordingly. The new footnote 3 then is to state:
The government was well-advised to make this concession. Although prior to the Supreme Court‘s decision in Melendez-Diaz, our case law consistently held that a CNR was nontestimonial, see, e.g., United States v. Cervantes-Flores, 421 F.3d 825, 830-34 (9th Cir.2005); United States v. Salazar-Gonzalez, 458 F.3d 851, 853-54 (9th Cir.2006), that line of decisions is clearly inconsistent with Melendez-Diaz. Melendez-Diaz held to be testimonial affidavits reporting the results of forensic analysis establishing that seized material was cocaine.
129 S.Ct. at 2532. The affidavits were held to be testimonial primarily because they were statements of what a witness would testify if called and were prepared for the known purpose (indeed, the only purpose) of use at the defendant‘s trial. Id. This reasoning is clearly applicable to the CNR in this case, and is irreconcilable with our prior decision in Cervantes-Flores and its progeny. Accordingly, we are required to follow Melendez-Diaz and to consider our prior decisions overruled to the extent of their irreconcilability with Melendez-Diaz. See Miller v. Gammie, 335 F.3d 889, 900 (9th Cir.2003) (holding that where intervening higher authority is irreconcilable with established circuit law, a three-judge panel “should consider [itself] bound by the intervening higher authority and reject the prior opinion of this court as having been effectively overruled“). Thus, the CNR in the present case is testimonial.
OPINION
CANBY, Circuit Judge:
Samuel Orozco-Acosta was convicted by a jury of illegally re-entering the United States following removal, in violation of
FACTUAL AND PROCEDURAL BACKGROUND
On June 25, 2008, a border patrol agent discovered Orozco-Acosta, a Mexican national, just north of the United States-Mexico border in a desolate area frequented by aliens illegally crossing into the United States. Orozco-Acosta admitted to the agent that he was a Mexican citizen and had no documents allowing him to be in the United States legally. He also later gave a sworn statement indicating that he had been deported earlier that year and had not sought permission to re-enter.
A federal grand jury indicted Orozco-Acosta for being found in the United States following removal, in violation of
The jury also heard the testimony of Agent Dwain Holmes, the custodian of Orozco-Acosta‘s Alien Registration File (“A-File“). An A-File contains paper records concerning an alien‘s immigration status, including records of removal and applications for re-entry. Agent Holmes testified that his review of Orozco-Acosta‘s A-File, as well as an agency computer database, C.L.A.I.M.S., disclosed no documentation that Orozco-Acosta had applied for permission to re-enter the United States.
The jury found Orozco-Acosta guilty of violating
DISCUSSION
I. Confrontation Clause
The Confrontation Clause of the Sixth Amendment guarantees that “[i]n all criminal prosecutions, the accused shall enjoy the right ... to be confronted with the witnesses against him.”
Recently, in Melendez-Diaz v. Massachusetts, — U.S. —, 129 S.Ct. 2527, 2532, 174 L.Ed.2d 314 (2009), the Supreme Court shed additional light on the contours of the term “testimonial.” The Court held that “certificates of analysis” by laboratory technicians confirming that substances possessed by the defendant were cocaine were testimonial statements under Crawford. Id. at 2532. The Court emphasized that the certificates were “quite plainly affidavits” and were “functionally identical to live, in-court testimony.” Id. at 2532. Moreover, not only were the certificates “‘made under circumstances which would
Relying upon Melendez-Diaz, Orozco-Acosta challenges the district court‘s introduction into evidence of the CNR and the warrant of removal. He argues that both the CNR and the warrant of removal are testimonial and that, because he never had the opportunity to cross-examine their declarants, the introduction of these documents violated his right to confront witnesses against him. The government concedes that introduction of the CNR was error under Melendez-Diaz, but argues that the error was harmless beyond a reasonable doubt. The government also maintains that introduction of the warrant of removal into evidence did not violate the Confrontation Clause post-Melendez-Diaz.
Certificate of Non-Existence of Record (CNR)
To convict Orozco-Acosta of violating
Because the government concedes that the introduction of the CNR violated Orozco-Acosta‘s confrontation right,3 “we must remand for a new trial unless the government demonstrates beyond a reasonable doubt that admission of the evidence was harmless.” United States v. Norwood, 603 F.3d 1063, 1068 (9th Cir. 2010). In evaluating whether a Confrontation Clause violation is harmless, we consider a variety of factors, including:
the importance of the witness’ testimony in the prosecution‘s case, whether the testimony was cumulative, the presence or absence of evidence corroborating or contradicting the testimony of the witness on material points, the extent of cross-examination otherwise permitted,
and, of course, the overall strength of the prosecution‘s case.
Delaware v. Van Arsdall, 475 U.S. 673, 684, 106 S.Ct. 1431, 89 L.Ed.2d 674 (1986). We conclude that the government has met its burden of proving harmlessness in this case.
First, the CNR was cumulative of other evidence. Agent Holmes testified that if Orozco-Acosta had filed the form required to reapply for admission, this fact would have been documented both in Orozco-Acosta‘s A-File and in the agency‘s C.L.A.I.M.S. database, but no such documentation appeared in either place. Any doubt arising from the possibility that Agent Holmes‘s record search was less comprehensive than the search conducted for the CNR was allayed by the introduction of Orozco-Acosta‘s own sworn statement that he had not applied for permission to re-enter, as well as the arresting agent‘s testimony that Orozco-Acosta admitted that he lacked documents allowing him to be in the United States legally. The jury also could infer that Orozco-Acosta lacked permission to re-enter the United States from the circumstances of his apprehension: rather than entering through a designated Port of Entry, as would be expected if Orozco-Acosta had received permission to re-enter the United States, Orozco-Acosta was apprehended in a desolate, inhospitable, and uninhabited border area. Thus, the government‘s case on the lack-of-permission element was overwhelming, even without the CNR.
Orozco-Acosta had an adequate opportunity to cross-examine the witnesses who testified against him. These witnesses included Agent Holmes, who reviewed Orozco-Acosta‘s A-File, Agent Bourne, who prepared Orozco-Acosta‘s sworn statement, and Agent Thompson, who apprehended Orozco-Acosta near the border. We reject Orozco-Acosta‘s contention that his ability to cross-examine Agent Holmes was unduly limited by the district court‘s refusal to order the production of notes Agent Holmes made while reviewing Orozco-Acosta‘s A-file.4 Nothing prevented counsel for Orozco-Acosta from pressing Agent Holmes on the manner in which he conducted the A-File search, but counsel did not do so. In fact, the question of whether Orozco-Acosta had applied for permission to re-enter the United States was never seriously challenged at trial. Thus, “we are convinced beyond any reasonable doubt that the jury would have convicted [Orozco-Acosta] on the elements of [§ 1326] regardless of the [introduction of the CNR].” Norwood, 603 F.3d at 1069.
Warrant of Removal
To convict Orozco-Acosta, the government also was required to prove beyond a reasonable doubt that Orozco-Acosta, prior to being apprehended, had in fact been physically removed from the United States. See, e.g., United States v. Estrada-Eliverio, 583 F.3d 669, 671 (9th Cir.2009). As part of its proof, the government introduced the warrant of removal, which both ordered that Orozco-Acosta be removed from the United States and also documented Orozco-Acosta‘s physical removal to Mexico. We review de novo whether the admission of this warrant violated Orozco-Acosta‘s confrontation right.
Resolution of this issue is controlled by our previous decision in United States v. Bahena-Cardenas, 411 F.3d 1067, 1075 (9th Cir.2005). In Bahena-Cardenas, we held, post-Crawford, that a warrant of removal is “nontestimonial because it [is] not made in anticipation of litigation, and because it is simply a routine, objective, cataloguing of an unambiguous factual matter.” Id. at 1075. We reasoned that warrants of removal have “inherent reliability because of the Government‘s need to keep accurate records of the movement of aliens.” Id. (quoting United States v. Hernandez-Rojas, 617 F.2d 533, 535 (9th Cir.1980)) (internal quotation mark omitted).
We reject Orozco-Acosta‘s contention that Melendez-Diaz has so undermined Bahena-Cardenas that we should depart from its holding. See Miller v. Gammie, 335 F.3d 889, 892-93 (9th Cir.2003) (en banc) (explaining that a three-judge panel should consider itself bound by an intervening higher authority that is “clearly irreconcilable with the reasoning or theory” of a prior holding of this court). Orozco-Acosta is correct that, post-Melendez-Diaz, neither the warrant‘s routine, objective nature nor its status as an official record necessarily immunizes it from confrontation. See Melendez-Diaz, 129 S.Ct. at 2536-40. Bahena-Cardenas‘s holding that warrants of removal are nontestimonial, however, also relied upon the fact that warrants of removal are “not made in anticipation of litigation,” but rather to record the movements of aliens. 411 F.3d at 1075. Melendez-Diaz explained that “[b]usiness and public records are generally admissible absent confrontation ... because—having been created for the administration of an entity‘s affairs and not for the purpose of establishing or proving some fact at trial—they are not testimonial.” 129 S.Ct. at 2539-40 (emphasis added). Thus, far from undermining Bahena-Cardenas, Melendez-Diaz is wholly consistent with Bahena-Cardenas.
Orozco-Acosta attacks the underlying premise of Bahena-Cardenas, arguing that warrants of removal qualify as testimonial because they are “made under circumstances which would lead an objective witness reasonably to believe that the statement would be available for use at a later trial.” Melendez-Diaz, 129 S.Ct. at 2532 (quoting Crawford, 541 U.S. at 52, 124 S.Ct. 1354) (internal quotation marks omitted). The problem with this argument is that it is based on one of Crawford‘s formulations of testimonial statements. We decided Bahena-Cardenas after Crawford and squarely held that warrants of removal are not testimonial under Crawford. Bahena-Cardenas, 411 F.3d at 1075. We are bound by that determination, and the binding effect is not weakened by the repetition, without further development, of Crawford‘s “objective witness” formulation in Melendez-Diaz. See Melendez-Diaz, 129 S.Ct. at 2542 (“This case involves little more than the application of our holding in Crawford ....“).
Melendez-Diaz, moreover, repeatedly emphasized that the certificates of analysis in that case were prepared solely for use at the defendant‘s trial. See id.; see also id. at 2539 (the certificates’ “sole purpose” was “providing evidence against a defendant“); id. at 2540 (the certificates were “prepared specifically for use at petitioner‘s trial“). Unlike the certificates of analysis in Melendez-Diaz, neither a warrant of removal‘s sole purpose nor even its primary purpose is use at trial. A warrant of removal must be prepared in every case resulting in a final order of removal, see
In sum, nothing in Melendez-Diaz is clearly irreconcilable with Bahena-Cardenas‘s holding that a warrant of removal is “nontestimonial because it was not made in anticipation of litigation.” 411 F.3d at 1075. We therefore are not at liberty to depart from that holding. We conclude that admission of the warrant of removal into evidence at Orozco-Acosta‘s trial did not violate the Sixth Amendment.
II. Jury Instructions
Orozco-Acosta argues that the district court erred in refusing to give his proposed circumstantial evidence instruction, thus preventing him from adequately presenting his defense theory that he lacked knowledge that he was in the United States. The district court‘s formulation of jury instructions is reviewed for abuse of discretion. United States v. Frega, 179 F.3d 793, 807 n. 16 (9th Cir.1999). “In reviewing jury instructions, the relevant inquiry is whether the instructions as a whole are misleading or inadequate to guide the jury‘s deliberation. The trial court has substantial latitude so long as its instructions fairly and adequately cover the issues presented.” Id. (internal citation omitted). We review de novo whether the jury instructions adequately presented the defendant‘s theory of the case. United States v. Somsamouth, 352 F.3d 1271, 1274 (9th Cir.2003).
Orozco-Acosta‘s requested instruction was nearly identical to California standard criminal jury instruction (“CALJIC“) 2.01, concerning circumstantial evidence.6 Orozco-
We previously rejected a similar argument under similar circumstances. In United States v. James, 576 F.2d 223, 226 (9th Cir.1978), the defendant requested a jury instruction that was virtually identical to that requested by Orozco-Acosta, claiming that “his entire defense was dependent upon the jury‘s understanding of the nature and the significance of circumstantial evidence.” Id. at 226. We explained that “neither party, including a criminal defendant, may insist upon any particular language” and found no abuse of discretion in the district court‘s refusal to give the requested instruction because the jury instructions as a whole were adequate. Id. at 226-27.
The instructions in this case, as a whole, also were adequate to guide the jury‘s deliberation. As in James, the district court in this case “instructed the jury on the meaning and significance of direct and circumstantial evidence.”7 Id. at 227; see also id. at 227 n. 2. The district court‘s instruction on the reasonable doubt standard was sufficient to ensure that the jurors understood “their duty in the event they concluded that the evidence reasonably permitted a finding of either guilt or innocence.”8 Id. at 227; see also United States v. Miller, 688 F.2d 652, 662 (9th Cir.1982).
In light of James, the district court‘s conclusion that the other jury instructions adequately covered the substance of Orozco-Acosta‘s proposed instruction was not an abuse of discretion. In addition, the district court read Orozco-Acosta‘s requested defense theory instruction,9 ensuring that the jury instructions as a whole adequately presented his theory of the case. There was no instructional error.
III. Sentence
Orozco-Acosta‘s final challenge is to his sentence. In reviewing a sentence, we first consider whether the district court committed significant procedural error. United States v. Carty, 520 F.3d 984, 993 (9th Cir.2008) (en banc). In determining whether the district court committed procedural error, we review, inter alia, the district court‘s interpretations of the federal Sentencing Guidelines. See United States v. Bendtzen, 542 F.3d 722, 724-25 (9th Cir.2008). If no procedural error is found, we then review the sentence for substantive reasonableness under the abuse of discretion standard. United States v. Ressam, 593 F.3d 1095, 1120-22 (9th Cir.2010).
We find no procedural error in this case. Because Orozco-Acosta was convicted of violating
We also conclude that Orozco-Acosta‘s sentence was substantively reasonable. The district court imposed a sentence in the middle of the Guidelines range after carefully and rationally considering the factors in
Orozco-Acosta‘s reliance on United States v. Amezcua-Vasquez, 567 F.3d 1050 (9th Cir.2009), also is unavailing. In Amezcua-Vasquez, we held that application of the
CONCLUSION
Orozco-Acosta‘s conviction and sentence are AFFIRMED.
AFFIRMED.
